1002-3 MANAGEMENT TOOLS
1002-3 A. FEDERAL & STATE REQUIREMENTS
Public Assistance is required by Federal Regulation and State Statue to report client activities and outcomes. The following management tools will be used to monitor the Work Service Programs.
Document Direct Reports
Managers will request access to Document Direct within three business days of hire. System access must be obtained by completing and submitting the forms on the link “Request Access” on the CMS website.
The Document Direct Guide is available at the website: http://dpaweb.hss.state.ak.us/files/pdfs/WSandDocDir.pdf
The following is a brief summary of the reports:
Caseload summary: Caseload summaries are available both weekly and monthly on Document Direct. These reports provide a current listing of clients who have been referred to a Work Services Provider and the staff member to whom the case is assigned. The report provides basic case and client status information which allows the case manager and project manager to plan their work. The link below is a data dictionary that describes the content of each line of the Caseload Summary. http://soar.hss.state.ak.us/performance/files/WSCsldRptDataDict.pdf
TANF Months Used report: The TANF Months Used Report is available to managers on Document Direct. This report lists each client in order of the months of ATAP they have used to date. This information assists in scheduling and completing quarterly meetings.
Penalty Report The Penalty Report: is available to managers on Document Direct. This report includes clients whose TA cases have been reduced due to penalty. Managers will use this report to monitor and guide their staffs’ efforts to reengage penalized clients in appropriate activities.
Inconsistent Data Report: The Inconsistent Data Report is distributed by DPA’s Research and Analysis (R&A) team. Work Services Providers will: Review the work activity screen and client notes for each individual listed on the report. The Program Manager will address each case identified and respond to CSQA with either action or confirmation that the data is correct within 10 business days of receiving the report. This report identifies records fitting the following circumstances:
Adults having more than 55 hours per week of activity (i.e. >= 8 hours per day / 7 days per week).
Adults having start/end dates resulting in more than 60 hours/week.
The link below is a data dictionary that describes the content of each line of the Inconsistent Data Report. http://soar.hss.state.ak.us/performance/files/WorkActsInconsistenciesDataDict2.pdf
Participant List: This report is e-mailed to managers by R&A each month after the initial performance is calculated. The report identifies each client assigned to the provider. The link below is a data dictionary that describes the content of each line of the Participant list. http://soar.hss.state.ak.us/performance/files/WSPartListDataDict.pdf
Performance by the Case Manager: This report demonstrates the statistical performance of each caseload. Case Managers can use this report during coaching with their staff. The Performance by Case Manager Report is available at the link below: http://soar.hss.state.ak.us/performance/files/WSPerfMeasXCMReport.pdf
Universal Participation Statistics Report: This report demonstrates each agency’s rating, comparing agencies in communities with similar economic conditions. It is useful in setting staff goals of improved client engagement. http://soar.hss.state.ak.us/performance/files/UniversalPartStats.pdf
1002-3 B. REPORTS FROM WORK SERVICES GRANTEES
Quarterly Cumulative Fiscal Report (Families First)
The Quarterly Cumulative Fiscal Report (CFR) will be submitted through the State of Alaska’s eGrants system. The report must be submitted within 30 days after each quarter:
Report |
Months |
Due Date |
1st Qtr |
July - September |
October 31st |
2nd Qtr |
October - December |
January 30th |
3rd Qtr |
January - March |
April 30th |
4th Qtr |
April - June |
July 31st |
Annual |
July - June |
July 30th |
There is no requirement for a quarterly program narrative report for both the Families First and Work First Work Services programs.
An updated staff roster and organizational chart for all Work Service providers is due quarterly and should be submitted to the Program Managers for both Families First and Work First programs.
Year-end CFR.
The year-end CFR must contain a detailed list of encumbrances that have been included as current year expenditures.
Note:
Failure to submit the correct CFRs
on or before the deadlines stated above may result in denial of payments
to the agency.
Monthly Travel Report.
Work Services grantees will submit a monthly travel report that demonstrates their outreach and re-engagement activities with clients.
Performance invoices (WF Contractors) will be submitted to DPA within 20 days of R&A posting performance outcomes using the invoice format linked below.
Support Service reimbursement invoices will be submitted with Performance invoices.
The invoice will be accompanied by a detailed electronic spreadsheet (i.e., Excel) report of the quarter’s expenditures in date order containing:
Client ID |
Last Name |
First Name |
Date Authorized |
Paid To |
SS Code |
Amt |
Office |
Unit |
Case load |
06001234567 |
Smith |
John |
7.18.12 |
Holiday Gas Station |
GV |
$45 |
928 |
1 |
08 |
The Support Service Requests must be documented in CMS CLNO and/or on the Support Services page of the FSSP to be reimbursed. More detailed information regarding uses of Support Services can be found in (WSPM Section 1009)
Denial of Support Services must also be documented as a CLNO.
1002-3 D. CALENDAR OF REPORTING DATES
Report Name |
Written By |
Submitted To |
Date Available |
Dates Due |
Activity Data |
Case Manager |
Work Activity Screen on CMS |
Upon report from client following the Work Verification Guidelines. |
Close of business the 12th of the month following the activity of the previous month. |
Performance Confirmation |
Project Manager |
Work Services Technical Assistance |
The first of the month following data entry. |
10 business days following receipt of participant list. |
Grievance |
Project Manager |
Field Services |
The first of the month following data entry. |
10 business days following receipt of participant list. |
Inconsistent Data |
Project Manager |
Contract Services Quality Assurance |
The first week of the month following data entry. |
10 calendar days following transmission from Research and Analysis. |
Case Transfer Records |
Project Manager |
Work Services Technical Assistance |
The 5th of the month. |
The 5th of the month following transfer. |
As the primary point of contact for DPA clients, staff is required to have the tools and support needed to assure a high standard of customer service. An acceptable level of case management skills, fluency in verbal and written English, and thorough knowledge of DPA policy and procedures, including the Principles of Service, is necessary and expected.
Recruiting
Grantees and contractors must strive to hire staff that meet or exceed the basic requirements of knowledge, skills, abilities (KSA). See (WSPM attachment V):
However, at this time contractors and grantees are granted greater latitude in hiring staff who may not meet the full breadth of the KSA as defined in the attachment to this manual. Providers must continue to submit resumes for all newly hired staff to the appropriate DPA/WS Program Manager.
For staff who do not meet the KSA standard, a brief summary of the provider’s justification in making the hiring decision must be submitted to the DPA/WS Program Manager for written final approval.
A schedule of each agency’s internal and external training plans must be submitted each quarter within 30 days of the end of the quarter. The summary will include the trainings which the agency has agreed to, to ensure all staff’s competencies have been addressed.
Monitoring
Managers and supervisors will assure each staff member knows, understands, and consistently follows Work Services Policy and Procedures. This is to be done through regularly scheduled file reviews as specified in the contract.
Training Responsibility
Fundamentals of Work Services.
DPA/WS is waiving the requirement of completion of Fundamentals of Work Service, within six months. At this time the training in not available in its entirety.
When DPA/WS Fundamentals of Work Services training is made available a broadcast will be shared with all providers.
Within 30 days of that announcement a training schedule of attendance for each new hire and existing hire, will be shared with the Program Mangers.
Until the Fundamentals of Work Service training is announced on-going short training opportunities will be made available upon request through the DPA/WS Program Managers.
1002-3 F. FAMILIES FIRST TRAINING REQUIREMENTS
Families First staff will attend local training provided by the Families First Facilitators to learn:
Overview of the Families First model.
Family Support Team Coordination and Meetings.
Employment Planning Meeting Protocol.
Portfolio Development (for Job Developers).
Negotiated Job Development (for Job Developers).
Other specific training as requested and approved.
1002-3 G. TRAIN WITH LOCAL PARTNERS
Participate in DPA’s training teleconferences as offered, contact local subject matter experts to gain understanding of identified client issues. Establish partnerships and ensure mutual understanding of services and resources. Training may include but is not limited to the following:
Domestic Violence
Behavioral Health
Apprenticeship
Anger Management
Providers are required to have all staff participate in 40 hours of training annually. Training may be accomplished through in-service training, community training, and participation in subject matter expert training teleconferences as offered by DPA and/or requesting technical assistance from DPA. Fundamentals of Work Services training does not count toward the required 40 hours.
The standard curriculum for all Work Service Providers (WSP) is Empowerment Skills for Family Workers. The time limit for staff to complete the Family Empowerment Training has been extended through December 31, 2013 for both Work First and Families First.
Each WSP will identify a minimum of one staff member who is responsible for expertise in the curriculum. That expertise is gained through a dedicated “Train the Trainers” opportunity sponsored by DPA. He or she will ensure that all staff completes the curriculum with demonstrated understanding and appropriate application of skills within one year of hire.
If the curriculum is not completed or the skill is not demonstrated, that staff person must discontinue services under the DPA grant or contract. At least 30 days prior to the completion deadline the WSP trainer can submit a letter of support requesting an extension and identify a time line for expected completion signed by the WSP trainer and the affected staff.
Each WSP provider is required to maintain a log to verify participation and completion of training and curriculum of each staff.
DPA will provide training, which may be on-site, regionally, or State-wide. The training may be webinar, conference call-in or in-person.
Management is expected to be fiscally responsible when arranging travel by combining trips and purchasing tickets in advance as needed to ensure reasonable costs.
Other travel considerations are included in the following:
Travel expenses must be necessary to complete direct client services.
Travel to training or community events and out-of-state travel are not allowable expenses.
Travel expenses to itinerantly served communities are allowable expenditures.
Mileage reimbursement is an allowable expense and is reimbursed at the Federal mileage rate.
Mileage reimbursement is only approved when providing direct client services either in a client’s home or community.
Adequate documentation is required and must include the identification of the client and the type of services provided.
Administrative travel should clearly be tied to program goals and/or grant requirements. In cases where travel is intended to support staff and/or program administration (and does not include any client contact) the log will include the purpose of the visit and outcome.
Quarterly agency costs for travel will be reported in the travel line item of the Cumulative Fiscal Report, and in a Quarterly Travel Log. “Travel costs reported in the Quarterly Cumulative Fiscal Reports must be supported by a travel log, which will include the identity (through client ID#) of the clients visited, their location/community and the reason for each visit. The log will report detailed expenses, identifying funds allocated to mileage, airfare, hotel, per diem, etc.”
If client identification is necessary to justify travel, all confidentiality standards will apply. Clients must be identified by client number only. See Health and Social Services standard expectations for electronic communication at: http://www.hss.state.ak.us/granteees/vsi.htm, http://dpaweb.hss.state.ak.us/manuals/admin/apm.htm
The WSP is required to have working knowledge, access and functioning equipment or services that include the following:
Computer, internet, printer, copier, fax, email access and general mail.
Computers must be password protected.
Staff must be able to demonstrate skill in Microsoft-based systems and data entry.
Confidentiality is essential in maintaining records, sending documents and working with clients. Work Service Providers who do not have state sponsored email addresses are required to follow the protocols listed below when transmitting confidential data:
1. No email communication may contain the client’s name or social security number. Client’s are to be identified by client number only.
2. Agency’s are required to use a “Direct Secure Messaging (DSM)” account for sending client specific communication. See below for information on how to get a DSM account established:
a) For DHSS employees: Please submit a request to the DHSS IT Help Desk at: helpdesk@alaska.gov requesting a DSM account. Your request needs to include your full name, division you work for and job title. A subscriber agreement form was signed by the Department on behalf of State users; there is no need for DHSS employees to complete the DSM Subscriber Agreement form.
b) For non-DHSS State of AK employees: Please email your request for a DSM account to: hss.hitinfo@alaska.gov. Your request needs to include your full name, Department/Division you work for and job title. A subscriber agreement form was signed by the Department on behalf of State users; there is no need for State of AK employees to complete the DSM Subscriber Agreement form.
c) For non-State of AK personnel or entities: A DSM Subscriber Agreement (legal document) will need to be completed for all users in the organization. The agreement form is a legal document and requires the organization information and detailed user information including photo IDs for every user to validate the user. The agreement form can be found on Alaska eHealth Network's (AeHN) website at: http://ak-ehealth.org/for-providers/direct-secure-messaging/. There is an agreement form for healthcare providers and non-healthcare providers. The agreement forms need to be emailed to: support@ak-ehealth.org.
If an agency is not using a DSM type of account to transmit documents with client identifiers, grantee must double envelope documents and send through USPS overnight express, FedEx, Gold Streak, etc. This method will provide for confidentiality and is traceable. NOTE: The State of Alaska is no longer using “You Send It”. Grantee’s and Contractors must use the DSM to electronically transmit data to DPA.
All facsimile equipment will be monitored by staff, to ensure no public access.
Secure and lock all hard copy files and records containing client information.
1002-3 L. CAUSE FOR TERMINATION
1. Staff Termination
DPA will not dictate whether an agency may or may not retain staff. DPA does retain the authority to deny an agency’s employee to provide Work Services. Staff who engages in misconduct must be reported, in writing, to WSTA@alaska.gov within 24 hours of the Manager’s knowledge of the event.
Examples of misconduct are described in the Alaska Administrative Procedures Manual section 100-10 and http://www.law.state.ak.us/doclibrary/ethics.html
2. Grant or contract termination will occur as defined in the grant or contract.
1002-3 M. MANAGEMENT OF CASE TRANSFERS
1. Change of Community
If the client moves to a different community, the transfer of records occurs after the client has reported their move to the DPA office in the community they move to. Upon receipt of the client’s report of a move the DPA office makes the referral to the new provider and the transfer of the records (file) follows. Either the incoming or outgoing provider can initiate the process of transferring the file.
2. Making the Hand-off
For WF clients who are simply moving to a new community with no change in track the file shall be mailed as soon as the referral from DPA to the new provider occurs. It is the responsibility of the transferring office to ensure that the case file is complete, CLNOs up to date, the transfer summary complete and a current FSSP. Each office shall have a person designated to review the file for completeness and accuracy prior to transfer. This person could be a supervisor, lead worker or experienced case manager. Once the file is complete, a case transfer notice will be sent via email to the designated provider. All files must be sent by certified mail. The USPS tracking number shall be entered into CLNO.
If a client assigned to the FF track moves to another community, the FF case manager will call the FF supervisor in the new community to discuss the transfer. Upon receipt of the referral to the new provider a telephonic FST meeting shall be facilitated by the sending FF case manager. Level of support needed in the new community, services needed and identification of providers, client progress on FSSP goals and other relevant topics shall be discussed. The FFF in both communities must be notified of the transfer.
3. Case transfer process will include:
a) Confirmation of the new provider’s agency name and address.
b) For WF clients a face-to-face introduction between the client and the new provider. If a face-to-face introduction is not possible, a telephonic introduction may be done.
c) A joint meeting between the client and the out-going and in-coming provider.
d) A thorough Transfer Summary in CLNO describing services provided successes, challenges, supportive strategies, and recommendations.
e) The method of transfer must be documented in CMS.
4. Activity Participation
All clients assigned to a provider on the date of the Participation Report will be included in the prior month’s performance calculation regardless of any dates of referral or transfer between tracks.
To ensure that all cases are calculated in the correct provider’s performance data, each provider will maintain a record of all cases transferred in and out of their services during each calendar month. This report must be submitted to DPA by the 5th of the following month. See Calendar of Reporting Dates in section 1002-3 D.
5. Native Family Assistance Program
Work Services providers are not required to transfer case files if a client’s case management is transferred to a NFAP.
When a client presents with or discloses a situation that requires immediate attention, the work services provider regardless of track will make accommodation for the client to be seen within 48 hours. For clients in the FF track, Family Support Team members may not be able to gather for a full meeting, but should be contacted regarding the change and engaged in the resolution process. Support service resources can often be pooled together between multiple agencies which can have a profound and positive impact on success.
The importance of providing emotional support and coaching regarding resolution of crisis should be considered as well.
1002-3 O. CONTACT WITH DPA POLICY AND PROGRAM DEVELOPMENT
There are many situations in which communication is essential. Work Services providers will maintain a positive relationship with DPA Policy staff and seek direction and clarification when necessary.
The following is a list of examples where contact with DPA Policy staff is appropriate:
1. When the Answer is not Readily Identified
Work Services Providers should make every effort to resolve challenges or service issues internally. Front line staff will consult the ATAP Manual and the WSPM including appendices for guidance and confirm their next steps with their supervisor. If those tools do not provide clear direction, the written request for assistance must be sent to WSTA@alaska.gov and will include:
a) The Client ID number(s) of adult(s) in the case
b) A description of the situation
c) The resources the WSP has explored
d) What the WSP would like to do as a course of action
e) The WSP’s rationale of why the identified course of action is in the best interest of the client
A member of the Policy team will respond to the WSP’s inquiry by phone or in writing within 48 hours. Most clarifications will be case specific. Such clarifications must be printed and maintained in the client file for documentation.
General clarifications will be retained in Manager’s records for future reference if needed.
If a client need is truly urgent and cannot wait the time period stated above, WSTA Policy staff may be contacted by the Program Manager immediately by email or telephone. If the request for technical assistance (TA) is by telephone a follow-up email must be sent to the WSTA box. This email will include the client ID number, question and suggested resolution.
2. When A Partner or Agency Representative Can’t be Engaged
If a WSP is having difficulty reaching, engaging with or collaborating a partner agency, ensure all efforts to engage the partner (including phone calls, emails, copies of letters, calls to supervisors and invitations to meetings) are documented in CLNO’s.
Explain attempts to engage the partner with the Families First Facilitator (FFF). The FFF will assist with engaging the partner agency in the collaborative process.
3. When There Seems to be a Conflict in Policy between Two or More Agencies
In some cases, the Family Support Team (FST) may be working very well together, however they identify a conflict between agency policies that challenges the team’s progress. Family Support Team members are encouraged to discuss the issue with their supervisors and consult policy and procedure resources for guidance. If the guidance does not provide the necessary information, the issue should be presented to the FFF with the Families First Feedback and Recommendations form.
The FFF will consult members of the Local Leadership Team to seek resolution. Resolution will be communicated back to the FST, and when appropriate, DPA will help to resolve.
Appropriate dependable child care is essential to self sufficiency. Work Services case managers are expected to assist clients with obtaining child care; for client’s who have obtained child care and are engaged in activities, child care shall be authorized in the month prior to the month care is to be provided. Case managers will be responsive and exercise due diligence when child care payment difficulties are brought to their attention by the client, child care provider or Child Care Program Office (CCPO) staff. Due diligence includes:
Review of CLNOs to verify that request was submitted timely and that authorization has been issued.
If request and authorization are not in CMS immediately submit a new request through CMS. Case managers may call the CCPO if there was a denial issued to ascertain the action necessary to address denial.
Call the child care provider and report that the situation is being resolved.
All WS providers are responsible for adhering to all policy set out in the PASS I Child Care Assistance Policy Manual.
Familiarity with the PASS II/III manuals is expected. When clients obtain employment and are no longer eligible for ATAP or PASS I, Case Managers are responsible for informing clients regarding changes to their child care options and assisting with the transition.
When Case Managers become aware of a change in a client’s circumstances which is likely to affect their benefit level it is expected that they will:
Encourage the client to give written notice to the DPA Eligibility staff including an offer to fax documentation from their office
Inform client that it is the Case Manager’s duty to inform DPA Eligibility staff when they become aware of changes which may affect the client’s benefits
Make a report of change to DPA Eligibility staff by email or telephone; enter information regarding the change into CLNOs.
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